Coastal Riverine Squadron Eight – Alpha Company Senior Enlisted Adviser. Veteran of four operational deployments to Persian Gulf, Gulf of Oman and the Horn of Africa. Planned, organized and led multiple tactical patrol craft on daily anti-terrorism missions, and was personally responsible for managing over forty sailors and supervising maintenance and accountability programs for patrol craft, sensitive communications and weapons systems.

Investigated and prepared responses to customer concerns involving sales practice violation allegations on behalf of UBS’s Global Wealth Management. The sales practice violation claims investigated involved but were not limited to SEC 10b-5 violations, misrepresentation, unsuitability, churning, and unauthorized trading. Investigated and drafted responses to customer complaints submitted to FINRA, SEC, and other self-regulatory organizations inquiries. Negotiated settlements with customers and often their counsel to resolve outstanding disputes. Partnered with UBS's Regulatory group, assisting the group with their investigations and response to FINRA, SEC and other self-reporting organizations and state regulatory inquiries. Handled small claims arbitration matters decided on written submission.

Manager within the AMEX’s Sales Practice Investigations Group responsible for review of sales practice violations and complaints against member firms that may have included recommendations to the Enforcement Division. Assisted in development and implementation of AML examination procedures for member firms in accordance with U.S. Patriot Act. Managed a team of five investigators in addition to carrying personal caseload. Acted as a liaison with the U.S. Treasury, FinCen and the Federal Reserve with regard to the AMEX’s AML programs.